complaint or legal prosecution for an offense concerning property by a relevant agency, only for a cause arising from a deceitful, fraudulent or dishonest act, or having an application for an offer for sale
has not been surpassed, provided that the prohibited characteristics involved with any of the following cases: (a) Performing duty dishonestly or dishonest, deceitful, or fraudulent act relating to
, fraudulent or dishonest act, or having an application for an offer for sale of newly issued securities rejected by the SEC Office on a suspicious ground related to disclosure of information to the public and
Investor Alert สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 13 August 2024 10:27 In response to a number of tips and complaints about fraudulent solicitation of unauthorized
Clause 4 as the first category of prohibited characteristics; (2) having any record of deceitful, fraudulent or dishonest management of assets as specified by Clause 5 as the second category of prohibited
, concerning [i] unfair practice of trading securities or derivatives, or [ii] fraudulent, deceptive or unlawfully exploitable management, nor having such offense record during the period as specified by the SEC
trading or management in deceitful, fraudulent or dishonest manners; (4) being prohibited from acting or performing duties as a director, manager, a person with the management power, or an advisor of a
that the former TRITN executives under (1) ? (3) had conspired with the persons under (4) ? (5) to establish and use VBB as a channel for committing fraudulent acts in many circumstances, as follows